Grainger Consulting

 
REGULATORY CONSULTANTS AND TECHNICAL ADVISERS
TO THE FINANCIAL SERVICES INDUSTRY
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Expert Investigation and Expert Witness Services

Financial Services Regulation and Compliance

Grainger Consulting is able to provide advice and hands on assistance on all the technical, compliance and regulatory issues related to complaints investigation and/or disciplinary investigation. We can advise individuals, firms, professional bodies or their legal advisers, in matters relating to standards of advice and conduct under relevant investment business rules and regulations.

We have experience of regulatory practice and standards applied by a variety of regulatory authorities and professional bodies. The range of regulatory regimes upon which we can advise includes:

  • Financial Services and Markets (FSMA) Act 2000;
  • Financial Services Authority (FSA);
  • Designated Professional Bodies.

We can also advise on rules and regulations derived from the Financial Services Act 1986. This includes the regimes of former regulators such as: -

  • Securities and Investments Board (SIB);
  • Personal Investment Authority (PIA);
  • Investment Management Regulatory Organisation (IMRO);
  • Securities and Futures Authority (SFA);
  • Recognised Professional Bodies (RPBs).

Grainger Consulting currently provides Lead Opinion and Expert Witness Reports relating to the conduct of investment business for the Institute of Chartered Accountants in England and Wales (ICAEW).

Financial Planning And Investment Management

The range of expertise and experience within the firm allows us to provide expert opinion on a range of compliance and regulatory requirements across the financial services sector. We have particular expertise in the giving of financial advice, the provision of financial planning or investment management services and the arranging of investment transactions.

Expert Investigation

We will investigate complaints relating to either the standards of conduct of investment business or the standards of conduct of investment advisers/financial planners or those of investment managers/dealers. We will investigate those issues identified by the instructing body, the instructing legal adviser or the instructing firm. We will address any specific issues identified as well as the general standard required by the relevant rules or regulations. Following our investigation we will produce a written report. Depending upon the requirement of the instructing body or firm, our report will be written as either a Lead Opinion or as an Expert Witness Report.

Lead Opinion

Where required we can provide a Lead Opinion. A Lead Opinion is an expert opinion that is used as a standard against which to measure similar cases or circumstances. A Lead Opinion avoids the need to carry out duplicated investigations in circumstances where there are classes of complaints or where circumstances are very similar.

Expert Witness Reports

Where required, we will provide formal Expert Witness Reports written and prepared to the standards required under Civil Procedure Rules. Such reports are normally prepared on behalf of the Investigation Team or Disciplinary Tribunal of the instructing professional or regulatory body concerned. We will also accept instruction from legal advisers or the Courts.

 

 

Post  Grainger Consulting, Quantum House, 32 Mellor Road, Cheadle Hulme, Cheshire, SK8 5AU, United Kingdom
Tel  Phone 0161 486 1000
Email  E-mail cheadle@compliance.co.uk
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